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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Cadiz Inc | NASDAQ:CDZI | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 2.28 | 0.9237 | 3.62 | 0 | 09:09:32 |
1. Name and Address of Reporting Person * LC CAPITAL MASTER FUND LTD | 2. Issuer Name and Ticker or Trading Symbol CADIZ INC [ CDZI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Former 10% Owner |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 3/5/2020 | C(1) | 2504434 (1) | A | $6.75 | 3263926 | D (2)(3)(4) | |||
Common Stock | 144300 | D (4)(5) | ||||||||
Common Stock | 1208 | I (4)(6) | By retirement account | |||||||
Common Stock | 584 | I (4)(7) | By spouse's retirement account |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
7% Convertible Senior Notes due 2020 (8) | $6.75 | 3/5/2020 | J (9) | 16866290.34 (9) | (10) | 3/5/2020 | Common Stock | 2498709.68 (11) | (9)(10) | 43346290.3 | D (2)(3)(4) | ||||
7% Convertible Senior Notes due 2020 (8) | $6.75 | 3/5/2020 | C (12) | 16904930.13 (12) | (10) | 3/5/2020 | Common Stock | 2504434.09 (11) | (10) | 26441360.2 | D (2)(3)(4) | ||||
7% Convertible Senior Notes due 2020 (8) | $6.75 | 3/5/2020 | S (13) | 26441360.21 (13) | (10) | 3/5/2020 | Common Stock | 3917238.55 (11) | (10) | 0 | D (2)(3)(4) | ||||
Series 1 Preferred Stock (14) | $6.75 | 3/5/2020 | P (15) | 9671 (15) | (16) | (17) | Common Stock | 3917239 (16) | (16) | 9671 | D (2)(3)(4) |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
LC CAPITAL MASTER FUND LTD LAMPE, CONWAY & CO., LLC 680 FIFTH AVENUE, 12TH FLOOR NEW YORK, NY 10019-5429 | Former 10% Owner | ||||
LAMPE STEVEN LAMPE, CONWAY & CO., LLC 680 FIFTH AVENUE, 12TH FLOOR NEW YORK, NY 10019-5429 | Former 10% Owner | ||||
CONWAY RICHARD F LAMPE, CONWAY & CO., LLC 680 FIFTH AVENUE, 12TH FLOOR NEW YORK, NY 10019-5429 | Former 10% Owner | ||||
LAMPE, CONWAY & CO. LLC LAMPE, CONWAY & CO., LLC 680 FIFTH AVENUE, 12TH FLOOR NEW YORK, NY 10019-5429 | Former 10% Owner | ||||
LC CAPITAL PARTNERS LP LAMPE, CONWAY & CO., LLC 680 FIFTH AVENUE, 12TH FLOOR NEW YORK, NY 10019-5429 | Former 10% Owner | ||||
LC Capital Advisors LLC LAMPE, CONWAY & CO., LLC 680 FIFTH AVENUE, 12TH FLOOR NEW YORK, NY 10019-5429 | Former 10% Owner | ||||
LC Capital Offshore Fund Ltd LAMPE, CONWAY & CO., LLC 680 FIFTH AVENUE, 12TH FLOOR NEW YORK, NY 10019-5429 | Former 10% Owner |
Signatures | ||
/s/ Richard F. Conway, Director, for LC Capital Master Fund, Ltd. | 3/9/2020 | |
**Signature of Reporting Person | Date | |
/s/ Richard F. Conway, Partner, for LC Capital Partners, L.P. | 3/9/2020 | |
**Signature of Reporting Person | Date | |
/s/ Richard F. Conway, Managing Member, for LC Capital Advisors, LLC | 3/9/2020 | |
**Signature of Reporting Person | Date | |
/s/ Richard F. Conway, Managing Member, for Lampe, Conway & Co., LLC | 3/9/2020 | |
**Signature of Reporting Person | Date | |
/s/ Richard F. Conway, Director, for LC Capital Offshore Fund, Ltd. | 3/9/2020 | |
**Signature of Reporting Person | Date | |
/s/ Richard F. Conway | 3/9/2020 | |
**Signature of Reporting Person | Date | |
/s/ Steven G. Lampe | 3/9/2020 | |
**Signature of Reporting Person | Date |
1 Year Cadiz Chart |
1 Month Cadiz Chart |
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